Amendment: NI - 31-102 - National Registration Database

NATIONAL INSTRUMENT 31-102

NATIONAL REGISTRATION DATABASE

AMENDMENT INSTRUMENT

1. The title of Multilateral Instrument 31-102 National Registration Database is amended by striking out "Multilateral" and substituting "National".

2. The table of contents of the Instrument is amended by

(a) striking out the following:

PART 7 TRANSITION

7.1 Definitions

7.2 NRD Enrolment for Transition Firms

7.3 NRD Submissions before NRD Access Date

7.4 Accuracy of Business Location Information

7.5 Individuals Included in the Data Transfer

7.6 Individuals not Included in the Data Transfer

7.7 Changes to Form 4 Information -- Registered Individuals

7.8 Changes to Form 4 Information -- Non-registered Individuals

7.9 Pending Application to Change Individual's Registration Category

7.10 Currency of Form 33-109F4

7.11 Termination or Cessation of Relationship

PART 8 EFFECTIVE DATE

8.1 Effective Date, and

(b) adding the following after "6.1 Exemption":

PART 7 INCONSISTENT PROVISIONS

7.1 Inconsistent Provisions

3. Section 1.1 of the Instrument is amended by striking out the definition of "MI 33-109" and substituting the following:

"NI 33-109" means National Instrument 33-109 Registration Information,

4. The definition of "NRD number" in section 1.1 of the Instrument is amended by striking out "non-registered individual" and substituting "permitted individual".

5. Paragraph 3.1(1)(b) of the Instrument is amended by striking out "non-registered individual" and substituting "permitted individual".

6. Subsection 5.1(4) of the Instrument is amended by striking out "MULTILATERAL" and substituting "NATIONAL".

7. Section 6.1 of the Instrument is amended by adding the following subsection after subsection 6.1(2):

(3) Except in Ontario, an exemption referred to in subsection (1) is granted under the statute referred to in Appendix B of National Instrument 14-101 Definitions, opposite the name of the local jurisdiction.

8. Part 7 of this Instrument is repealed and the following is substituted:

PART 7 INCONSISTENT PROVISIONS

7.1 Inconsistent Provisions

In Québec, the provisions of this Instrument take precedence over any inconsistent provisions of Title V of the Securities Regulation.

9. Part 8 of this Instrument is repealed.

10. This Instrument comes into force on May 15, 2007.